| 22-00501 | 11/06/2023 | Claimant(s): Disruptive Ventures
Claimant Lawyers(s): Irwin Weltz
Respondent(s): Erika Mckiernan, Greg Brogger, Forge Securities LLC
Respondent Lawyers(s): Daniel Zinman, David A. Kotler
Arbitrator(s): Peter A. Goldman, Laura Carraher, Ira A. Auerbach
Hearing Site: New York, NY
|  | Expungement |
| 21-03123 | 06/16/2023 | Claimant(s): BPY Limited, Murchinson LTD, Nomis Bay Limited
Claimant Lawyers(s): David S. Richan
Respondent(s): Cassel Shapiro, Paul Zogala, Robert Eide, Aegis Capital Corp.
Respondent Lawyers(s): Aaron F. Miner, David S. Richan, Richard A. Roth
Arbitrator(s): Peter A. Goldman, Jeffrey Alan Helewitz, Sherman Guo
Hearing Site: New York, NY
| | $0 |
| 22-01047 | 05/03/2023 | Claimant(s): Michael Lastihenos
Claimant Lawyers(s): Seth N. Bursky
Respondent(s): Ladenburg Capital Management Inc.
Respondent Lawyers(s): Richard J. Rosenstock
Arbitrator(s): Peter A. Goldman, Howard L. Sobel, Anthony J Casino
Hearing Site: New York, NY
| | |
| 22-00003 | 10/07/2022 | Claimant(s): Stuart Updegrove
Claimant Lawyers(s): Tosh Grebenik
Respondent(s): Sands Brothers & Co., Ltd.
Respondent Lawyers(s): Gail Fanelli
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | |
| 19-03326 | 04/28/2022 | Claimant(s): Amy Chan, Hing Chan
Claimant Lawyers(s): Paul Radvany
Respondent(s): Johnny Guan
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Ted M. Rosen, Peter A. Goldman, Bernard Lieberman
Hearing Site: New York, NY
| | $97,187 |
| 19-03676 | 03/14/2022 | Claimant(s): Jayme Fowler
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Invesco Distributors., Oppenheimerfunds Distributor.
Respondent Lawyers(s): Adam M. Harris
Arbitrator(s): Peter A. Goldman, Barry Steven Port, William Marsillo
Hearing Site: New York, NY
| | |
| 20-01036 | 01/19/2022 | Claimant(s): Johnny Rodriguez
Claimant Lawyers(s): Robert Brian Volynsky
Respondent(s): LPL Financial LLC, Dawn West
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter A. Goldman, Peter A. Seibel, John Michael Bergin
Hearing Site: New York, NY
| | Expungement |
| 20-01731 | 12/06/2021 | Claimant(s): Livingston Asset Management LLC, Oscaleta Partners LLC, Queenston Partners LP, Trillium Partners LP
Claimant Lawyers(s): Steven Hicks
Respondent(s): Charles Lek, David Weiniger, Michael Mainwald, Ramute Zukas, Samuel Lek, Lek Securities Corporation
Respondent Lawyers(s): Adam M. Felsenstein
Arbitrator(s): Peter A. Goldman, Martin Mushkin, Edmund Timothy Donovan
Hearing Site: New York, NY
| | $0 |
| 21-00221 | 11/24/2021 | Claimant(s): James Kennedy
Claimant Lawyers(s): Dochtor Kennedy
Respondent(s): Wells Fargo Clearing Services
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Peter A. Goldman
Hearing Site: Albany, NY
| | |
| 17-01204 | 11/23/2021 | Claimant(s): Jordan Cahn
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): David A. Paul
Arbitrator(s): Peter A. Goldman, Mary P. Bass, Jason Scott Eveleth
Hearing Site: New York, NY
| | |
